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Department of Defense


NUMBER 5111.8

February 3, 2000


SUBJECT:  Assistant Secretary of Defense for Strategy and Threat Reduction (ASD(S&TR))

References: (a)  Title 10, United States Code

(b)  DoD Directive 5111.8, "Assistant Secretary of Defense for Strategy and Requirements (ASD(S&R))," March 22, 1995 (hereby canceled)

(c)  DoD Directive 5111.5, "Assistant Secretary of Defense for International Security Policy (ASD(ISP))," March 22, 1995 (hereby canceled)

(d)  DoD Directive 5134.1, "Under Secretary of Defense for Acquisition and Technology," September 17, 1999

(e)  through (h), see enclosure 1


Pursuant to the authorities provided in reference (a), this Directive establishes the position of ASD(S&TR), with responsibilities, functions, relationships, and authorities, as prescribed herein, and replaces references (b) and (c).


This Directive applies to the Office of the Secretary of Defense, the Military Departments, the Chairman of the Joint Chiefs of Staff, the Combatant Commands, the Office of the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the Department of Defense (hereafter referred to collectively as "the DoD Components").


The Assistant Secretary of Defense for Strategy and Threat Reduction is the principal staff assistant and advisor to the Under Secretary of Defense for Policy (USD(P)) and the principal civilian staff assistant to the Secretary and Deputy Secretary of Defense on national security and defense strategy, and the forces and contingency plans necessary to implement defense strategy.  In this capacity, the ASD(S&TR) shall:

3.1.  Analyze and develop the national security and defense strategy, and ensure that the Department's resource allocation, force structure development, weapons system acquisition planning and budgeting process support this strategy.

3.2.  Develop strategy and planning direction for the Defense Planning Guidance (DPG), in coordination with the Director of Program Analysis and Evaluation.

3.3.  Develop the Contingency Planning Guidance.  Review contingency plans, major force deployments, and military operational plans to advise the USD(P) in meeting the USD(P)'s statutory role to review such plans.

3.4.  Evaluate the capability of forces to accomplish U.S. defense strategy.  Develop alternative force structures, modernization programs, and initiatives needed to meet changing requirements and support the national security strategy.

3.5.  Analyze the program and budget submissions of the Military Departments to ensure that they adequately support the DPG strategy and planning guidance, Departmental objectives regarding the revolution in military affairs, and policy in other assigned areas of responsibility.  Recommend adjustments and specific programmatic initiatives, where applicable.

3.6.  In support of the national security strategy and defense strategy, develop policy and strategy guidance to incorporate the enhancement of coalition capabilities and multinational force compatibility into the Department's resource allocation, force structure development, weapons system acquisition planning, and budgetary processes.

3.7.  Monitor and provide policy direction to CINC, USACOM, in his capacity as the DoD Executive Agent for joint concept development and experimentation.

3.8.  Develop the agenda on strategy and planning matters for Defense Resources Board meetings to advance consideration of DoD transformation efforts to revolutionize DoD military affairs.

3.9.  Monitor and provide policy input to the military requirements and Defense Acquisition Board processes for all programs impacting on matters under the cognizance of the USD(P).  Ensure linkage to the defense strategy, planning guidance, and established national security and defense policy.

3.10.  Prepare the strategy, transformation, and nuclear and missile defense sections of the "Annual Report of the Secretary of Defense to the President and Congress," and coordinate the USD(P) contribution to and comments on the document.  Provide coordinated strategy input to Secretary of Defense, Deputy Secretary of Defense, and USD(P) budget testimony to the Congress.  Serve as the lead office for coordinating DoD input to and comments on the National Security Strategy of the President.

3.11.  Develop planning assumptions for a range of theater conflicts and crises.  Conduct force evaluations to help identify the applicable U.S. Military Force posture to carry out military strategies.  Identify critical resources and tasks needed to carry out those strategies and assess the capability of current, programmed, and planned forces to perform those critical tasks.

3.12.  Serve as the Executive Secretary of the Counterproliferation Council.

3.13.  Oversee the operations, meetings, and task forces of the Defense Policy Board (DPB) and, as appointed by the Secretary of Defense, serve as the DPB Designated Federal Official.

3.14.  Develop, coordinate, and oversee the implementation of policy for the following:

3.14.1.  Arms control negotiations, implementation, and verification on nuclear, chemical, biological, and advanced conventional weapons and missiles.

3.14.2.  Cooperative threat reduction with the states of the former Soviet Union, including the safety, security, and dismantlement of weapons of mass destruction and associated materials and infrastructure.

3.14.3.  Nonproliferation of nuclear, chemical, biological, and advanced conventional weapons and missiles, and for international technology transfers.

3.14.4.  U.S. Government counterproliferation activities.

3.14.5.  Nuclear forces strategy.

3.14.6.  U.S. nuclear deterrent forces, including the structure, requirements, and posture of strategic forces, strategic reserve forces, theater nuclear forces, warning systems, and national and theater missile defense.

3.14.7.  Interaction with the North Atlantic Treaty Organization (NATO) and members of NATO on nuclear, arms control, and counterproliferation matters.

3.14.8.  Promotion of coordination, cooperation, and joint planning on nuclear armaments and strategy with NATO allies, including responsibilities regarding the NATO Nuclear Planning Group and the High Level Group.

3.14.9.  U.S. ballistic missile defenses, including structure, requirements, posture, and employment plans for theater and national missile defense.

3.14.10.  Sharing U.S. ballistic missile early warning and defense capabilities with other states of the former Soviet Union.

3.15.  Provide national security and defense strategy policy guidance, in coordination with the Under Secretary of Defense for Acquisition, Technology and Logistics (USD (AT&L)), as appropriate, for the following:

3.15.1.  The Defense Threat Reduction Program on arms control implementation, cooperative threat reduction, counterproliferation and international technology transfers.

3.15.2.  The Ballistic Missile Defense Program.

3.15.3.  Strategic development of new defense technology through the stage of technology demonstration.

3.16.  Provide national security and defense strategy policy guidance for intelligence tasking, collection, and analysis in areas of assigned responsibility.  Integrate proliferation intelligence information, proliferation threat assessments, and proliferation-related information received from other sources into the USD(P) policy formulation process.

3.17.  Represent the USD(P) and the Secretary of Defense in inter-Agency deliberations and international negotiations dealing with assigned areas of responsibility.

3.18.  Develop, coordinate, and oversee the implementation of a comprehensive strategy toward Russia, Ukraine, and Eurasia (also referred to as the former Soviet republics).

3.18.1.  Develop and oversee DoD security policy and military relations.

3.18.2.  Develop DoD positions and recommendations, and coordinate and oversee the implementation of policy on security assistance, defense conversion, and military-to-military contacts for those states.

3.18.3.  Develop plans and policy intended to help those states consolidate democracy, reform their economic systems, and establish smaller, defensively oriented, and democratically accountable armed forces.

3.19.  Develop prioritized regional objectives that guide the development of theater engagement plans and assess adequacy of the global family of plans to meet strategy requirements.

3.20.  Perform such other functions as the USD(P) or the Secretary of Defense may prescribe.


4.1.  In the performance of assigned functions and responsibilities, the ASD(S&TR) shall serve under the authority, direction, and control of the USD(P), and shall:

4.1.1.  Coordinate and exchange information with other OSD officials, the Heads of the DoD Components, and Federal officials having collateral or related functions.

4.1.2.  Use existing facilities and services of the Department of Defense and the other Federal Agencies, when practicable, to avoid duplication and to achieve maximum efficiency and economy.

4.2.  Matters concerning DoD nuclear, chemical, and biological issues will be coordinated with the USD(AT&L), consistent with DoD Directives 5134.1 and 5134.8 (references (d) and (e)).

4.3.  The Heads of the DoD Components shall coordinate with the ASD(S&TR) on all matters concerning the responsibilities and functions cited in section 3., above.


The ASD(S&TR) is hereby delegated authority to:

5.1.  Issue DoD Instructions, DoD Publications, and one-time directive-type memoranda, consistent with DoD 5025.1-M (reference (f)), which implement policy approved by the Secretary of Defense in assigned areas of responsibility.  Instructions to the Military Departments will be issued through the Secretaries of the Military Departments.  Instructions to the Combatant Commands shall be communicated through the Chairman of the Joint Chiefs of Staff.

5.2.  Obtain reports, information, advice, and assistance, consistent with DoD Directive 8910.1 (reference (g)), as necessary, to carry out assigned functions.

5.3.  Communicate directly with the Heads of the DoD Components.  Communications to the Commanders of the Combatant Commands shall be transmitted through the Chairman of the Joint Chiefs of Staff.

5.4.  Communicate with other Government officials, representatives of the Legislative Branch, members of the public, and representatives of foreign governments, as applicable, in carrying out assigned functions.

5.5.  Negotiate and conclude international agreement in areas of assigned responsibility in accordance with DoD Directive 5530.3 (reference (h)) and in coordination with the General Counsel of the Department of Defense.


This Directive is effective immediately.

Signed by: John J. Hamre, Deputy Secretary of Defense

Enclosures - 1

E1.  References, continued


REFERENCES, continued

(e)  DoD Directive 5134.8, "Assistant to the Secretary of Defense for Nuclear and Chemical and Biological Defense Programs," June 8, 1994

(f)  DoD 5025.1-M, "DoD Directives System Procedures," August 1994

(g)  DoD Directives 8910.1, "Management and Control of Information Requirements," June 11, 1993

(h)  DoD Directive 5530.3, "International Agreements," June 11, 1987